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PRODID:-//PIMFA - Building Personal Financial Futures - ECPv4.6.12//NONSGML v1.0//EN
CALSCALE:GREGORIAN
METHOD:PUBLISH
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20190916T150000
DTEND;TZID=Europe/London:20190916T160000
DTSTAMP:20190915T104753
CREATED:20190820T103928Z
LAST-MODIFIED:20190902T103738Z
UID:86325-1568646000-1568649600@www.pimfa.co.uk
SUMMARY:WEBINAR: CASS in the New World of Personal Accountability: Are You Ready?
DESCRIPTION:Join us for a much-requested webinar to talk about the evolution of SM&CR and the personal accountability regime and what it means for a complicated discipline like CASS. \nAs we know managing CASS compliance is a complicated balancing act and as a result CASS governance can often be an even greater challenge. As we move into this new world of personal accountability\, a number of firms are concerned about where to start to ensure that they can evidence reasonable steps and manage personal risk across their organisations. Whilst this challenge may seem impossible in this webinar we will cover how your firm can: \n\nKeep pace with The FCA expectations over Client Money & Assets and enhanced personal accountability\nRecognise the challenges faced in managing a CASS framework under SM&CR\nEvidence to the regulator how you are effectively delegating responsibility through a roles and responsibility framework\nBuild a CASS framework to identify\, assess & reduce personal accountability\n\nWho should attend? \n\nManagement\, compliance and administration professionals who hold or control client money and/or custody assets\, particularly: Directors and senior management who will hold the new Prescribed Responsibility for CASS\nThe senior manager who holds the CASS operational oversight (CF10a) function\nStaff or market participants with day-to-day responsibilities for the protection of client money and assets\n\nIf you require more information please email learning@pimfa.co.uk. \n
URL:https://www.pimfa.co.uk/event/cass/
CATEGORIES:Learning,Webinars
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20190917T100000
DTEND;TZID=Europe/London:20190917T110000
DTSTAMP:20190915T104753
CREATED:20190821T092757Z
LAST-MODIFIED:20190902T113143Z
UID:86317-1568714400-1568718000@www.pimfa.co.uk
SUMMARY:WEBINAR: SM&CR Conduct Rules: Best Practice Implementation
DESCRIPTION:The FCA announced (5th August) that it will be increasing its supervisory focus on how firms are embedding the conduct rules under SM&CR in which it found companies were not always sufficiently tailoring their conduct rules training to suit job roles within the firm. \nIn this FREE 60 minute webinar our panel of experts share new methods and techniques that firms can adopt to ensure they deliver tailored conduct rules training which meet the FCA expectations. \nOur discussions will focus on: \n\nThe new Conduct Rules\nThe FCA focus on misconduct that could lead to a breach of the Conduct Rules\nHow firms can meet the FCA expectations on delivering Conduct Rules training\nThe different learning methods & approaches firms are taking\nNew strategies to evidence training and competency of your staff\n\nIf you require more information please email learning@pimfa.co.uk. \n
URL:https://www.pimfa.co.uk/event/webinarconductrules/
CATEGORIES:Learning,Webinars
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20190918T110000
DTEND;TZID=Europe/London:20190918T120000
DTSTAMP:20190915T104753
CREATED:20190820T105025Z
LAST-MODIFIED:20190902T103719Z
UID:86328-1568804400-1568808000@www.pimfa.co.uk
SUMMARY:WEBINAR: Effective Complaint Management
DESCRIPTION:The FCA has always had a keen eye on how firms handle complaints from clients\, but we know from 2019/20 FCA business plan that this is an area that the regulator intends to focus even more on. \nWithin its ‘cross sector priorities’\, The FCA lists three ‘measures’ it wants to bring in to measure change in the long term. These three key performance indicators (KPIs) are: \n\nUpheld complaints levels\nConsumer redress amounts\nFeedback from consumers\n\nWhile this isn’t really ‘new news’\, it is a timely reminder to regulated firms that The FCA will be shining an even brighter light on how firms are approaching customer complaints. In this 60-minute webinar our panel of experts discuss… \n\nHow the FCA’s business plan impact on firms handling of complaints today\nThe problems of using DISP as a benchmark for handling complaints\nWhat a good complaints-handling process looks like\nThe common mistakes firms can (unwittingly) make.\n\nIf you require more information please email learning@pimfa.co.uk. \n
URL:https://www.pimfa.co.uk/event/complaintmanagement/
CATEGORIES:Learning,Webinars
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20190923T113000
DTEND;TZID=Europe/London:20191026T120000
DTSTAMP:20190915T104753
CREATED:20190909T095347Z
LAST-MODIFIED:20190909T095347Z
UID:86890-1569238200-1572091200@www.pimfa.co.uk
SUMMARY:Sibos 2019 London\, UK – Meet Infosys Finacle at Sibos
DESCRIPTION:Infosys Finacle will be at Sibos 2019\, from 23-26 September to be held at The Excel\, London\, UK.\nBlock your calendar to attend a joint presentation with a large global tier 1 bank on “Digital Cash Management” on Sept 25\, 2019 between 11:30 and 12:00 pm London time in the Open Theatre 2 (Session Code OT226).\nMeet our team of senior subject matter experts and consultants at Stand Y141 to learn more about the work we are doing with banks across the world in Payments\, Treasury\, Trade Finance\, Corporate Banking\, Cash Management\, Digital Channels\, Blockchain (Trade Finance\, Payments Connect & Identity)\, RPA for banks and AI centric solutions.\nExperience hands on demos for these solutions\nUnderstand case studies of how we have helped banks \n
URL:https://www.pimfa.co.uk/event/sibos-2019-london-uk-meet-infosys-finacle-at-sibos/
CATEGORIES:Industry Events,Industry Seminar
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191001T093000
DTEND;TZID=Europe/London:20191001T170000
DTSTAMP:20190915T104753
CREATED:20190909T100812Z
LAST-MODIFIED:20190909T100812Z
UID:86698-1569922200-1569949200@www.pimfa.co.uk
SUMMARY:The Altus Transfer Gateway (ATG) User Group
DESCRIPTION:The Altus Transfer Gateway (ATG) User Group is a useful forum to get updates on what’s happening in the market\, discuss best practice\, hear from ATG users about their own experience\, and guide the requirements for future releases. \nWe are delighted that Clive Parker from the FCA will be joining us to give an update on the policy remedies being taken forward for exit fees and share class conversions. \nWe will also discuss the November UKETRG transfer market practice upgrade\, and the exciting new features we are introducing to ATG\, which will allow you to manage the full share class conversion process and exchange pension ring fencing data electronically. \nFor more information about our ATG User Group\, please contact Howard Finnegan on howard.finnegan@altus.co.uk\, or 01225 438 011. \n
URL:https://www.pimfa.co.uk/event/the-altus-transfer-gateway-atg-user-group/
CATEGORIES:Industry Conference,Industry Events
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191002T153000
DTEND;TZID=Europe/London:20191002T200000
DTSTAMP:20190915T104753
CREATED:20190626T151102Z
LAST-MODIFIED:20190626T151102Z
UID:82692-1570030200-1570046400@www.pimfa.co.uk
SUMMARY:Outsourcing Conference 2019
DESCRIPTION:For this year’s Outsourcing event\, Compeer will be focusing on technology spend in the wealth management industry and evaluating the role technology outsourcing has in driving efficiency and innovation. \nThrough peer-group interviews and analysis of our extensive database on the UK wealth management industry\, we will look to identify where the best value is in technology outsourcing and outline the impact it has on reducing costs\, improving business processes and enhancing client engagement. \nJoin us on the afternoon of 2nd October at Wedlake Bell LLP for the presentation of Compeer’s research and to hear the views of a variety of industry thought leaders. \nThere is no charge for this seminar for representatives of wealth management firms and private banks. A charge of £250 + VAT per ticket applies for service providers. \nCPD certificates will be issued shortly after the seminar \n
URL:https://www.pimfa.co.uk/event/outsourcing-conference-2019/
CATEGORIES:Industry Conference,Industry Events
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191008T083000
DTEND;TZID=Europe/London:20191008T133000
DTSTAMP:20190915T104753
CREATED:20190514T083440Z
LAST-MODIFIED:20190910T145436Z
UID:75361-1570523400-1570541400@www.pimfa.co.uk
SUMMARY:PIMFA Women in Wealth Forum 2019
DESCRIPTION:Our final PIMFA ‘Women in Wealth’ event for 2019 brings together colleagues from across the industry for peer-to-peer debate\, networking and inspiration. \nSpeakers will include top professionals from our industry and its key stakeholders to share insights and experience\, as well as a practical element of takeaways suitable for men and women on individuality within your organisation. \nIf your firm is a member but you do not have a user account\, please register here: https://www.pimfa.co.uk/portal/new-registration/ \n#PIMFAWomenInWealth \n \n
URL:https://www.pimfa.co.uk/event/women-in-wealth-forum-19/
LOCATION:4 Cannon St\, London\, EC4M 5TA\, United Kingdom
GEO:51.5127892;-0.0969472
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=4 Cannon St London EC4M 5TA United Kingdom;X-APPLE-RADIUS=500;X-TITLE=4 Cannon St:geo:-0.0969472,51.5127892
CATEGORIES:Networking,PIMFA Events
ORGANIZER;CN="PIMFA":MAILTO:events@pimfa.co.uk
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=UTC+0:20191009T100000
DTEND;TZID=UTC+0:20191009T190000
DTSTAMP:20190915T104753
CREATED:20190528T091808Z
LAST-MODIFIED:20190909T095210Z
UID:79089-1570615200-1570647600@www.pimfa.co.uk
SUMMARY:SRI Services & Partners 'Good Money Week' Event 2019
DESCRIPTION:*Registration from 10 am. The event will start at 10.30* \n‘Screened\,Themed & Engaged 2019’ \nThe unmissable ‘SRI Services and Partners’ showcase event for financial services intermediaries during ‘Good Money Week’ 2019. \nEnjoy presentations\, panel discussions and ‘break out’ meetings with a range of fund managers and subject specialists from across the ESG\, SRI\, sustainable\, responsible and ethical investment market… with plenty of time to mingle over a sandwich lunch and drinks reception in the Barbican’s beautiful conservatory (when formal proceedings have ended). \nOur keynote speaker this year will be Emma Howard-Boyd\, Chair of the Environment Agency. \nSee the www.FundEcoMarket.co.uk ‘Events Page’ for further information – or contact events@sriServices.co.uk or Julia@sriServices.co.uk if you have questions. \nNotes: \n– Please be aware this event is strictly for financial advisers and related retail financial services professionals only. \n– The attendee list will be shared with our fund manager partners who are paying for this free event. Please let me know if you wish to be removed from this list. \n– Please also let us know if you have any special dietry requirements other than vegetarian / vegan. \n#SRI #SustainableInvestment #ESG #IFA \n
URL:https://www.pimfa.co.uk/event/sri-services-partners-good-money-week-event-2019/
LOCATION:Silk Street\, London\, EC2Y 8DS\, United Kingdom
CATEGORIES:Industry Conference,Industry Events
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191014T090000
DTEND;TZID=Europe/London:20191014T133000
DTSTAMP:20190915T104753
CREATED:20190716T154659Z
LAST-MODIFIED:20190723T083757Z
UID:83968-1571043600-1571059800@www.pimfa.co.uk
SUMMARY:MiFIR Transaction Reporting Core Training
DESCRIPTION:The two recent FCA fines for transaction reporting breaches help demonstrate just how important having a sound understanding of the reporting requirements is. Regulators are relentless in their pursuit of complete and accurate transaction reporting and firms\, and their senior managers\, are at risk If they fail to meet the standards required. The MiFIR reporting requirements are extremely complex and training is an essential element in understanding these requirements and eliminating the errors in interpretation that lead to reporting breaches. The FCA has stated that it has received in excess of 1300 errors and omissions forms relating to transaction reporting and each one of these cases will result in a resource intensive back-reporting exercise. Effective training can help firms avoid the costs of back-reporting and dramatically reduce the risks of sanctions \nWith the FCA often citing a general lack of expertise around transaction reporting in the firm as a cause for reporting breaches\, it is imperative that firms avoid simple reporting mistakes and costly enforcement action by training senior managers\, accountable under SMCR and their staff in the interpretation of the reporting requirements. \nThis MiFIR Transaction Reporting Core Training Course addresses this concern by providing candidates with a thorough grounding on the reporting requirements. \nLearning Objectives \nIn this practical half day workshop\, former regulator and leading expert on MiFIR transaction reporting David Nowell provides you with a core understanding of the MiFIR transaction reporting requirements\, the fields that comprise a transaction report and the key lessons learnt from recent FCA fines against firms. \nThis CISI CPD approved workshop includes an exam that will enable you to demonstrate your understanding of the transaction reporting requirements. \nBy the end of this workshop you will be able to…. \n\nAvoid the common pitfalls made in recent transaction reporting failings\nSpot reporting mistakes.\nUnderstand legal entity identification and private individual identification standards\nUnderstand Instrument reference data standards\nUnderstand the expectations of the regulator around transaction reporting\nVerify the completeness\, accuracy and timeliness of your transaction reports\nDefine the entities which have a transaction reporting requirement\, the instruments within scope and what constitutes execution of a transaction\nConfidently build a basic transaction report\n\nWho Should Attend? \nThis half-day training workshop is primarily aimed at compliance and operations staff\, but it will benefit anyone involved in the MiFIR transaction reporting process. Including: \n\nCompliance Managers\nRisk Managers\nOperations\nBusiness Analysts\nProject Managers\nTransaction Reporting\nBack Office Professionals\n\nYour Trainer \nDavid Nowell is a leading expert on MiFIR transaction reporting and EMIR trade reporting. \nHe has over 30 years’ financial services experience on both sides of the regulatory fence\, having worked previously for the then FSA\, Reuters\, Credit Suisse and the London Stock Exchange (LSE). David was a Technical Specialist within the Transaction Monitoring Unit at the FSA\, where he was responsible for shaping the transaction reporting rules and providing guidance to UK firms. David was the FSA’s representative on transaction reporting in Europe for a number of years and later became a member of ESMA’s Market Data Standing Committee Consultative Working Group. \nAfter working ten years at the FSA\, David became Head of Transaction Reporting at Credit Suisse. David also spent more than six years at the LSE where he was Head of Compliance for UnaVista. David is now a Senior Regulatory Reporting Specialist at Kaizen and designed and delivers the CISI/CPD accredited training course on the subjects of MiFIR transaction reporting and EMIR trade reporting. \n
URL:https://www.pimfa.co.uk/event/mifir-transaction-reporting-core-training/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=22 City Road Finsbury Square London EC1Y 2AJ United Kingdom;X-APPLE-RADIUS=500;X-TITLE=22 City Road\, Finsbury Square:geo:-0.087405,51.5224217
CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191016T080000
DTEND;TZID=Europe/London:20191016T190000
DTSTAMP:20190915T104753
CREATED:20181102T162814Z
LAST-MODIFIED:20190913T091416Z
UID:55878-1571212800-1571252400@www.pimfa.co.uk
SUMMARY:PIMFA Annual Summit 2019
DESCRIPTION:The PIMFA Annual Summit 2019 will be taking place in London on Wednesday 16th October. \nKeynote Speaker: Chris Packham\, TV Wildlife Presenter \nOur flagship conference provides delegates with the opportunity to investigate and gain a comprehensive understanding of the issues that impact upon the investment management and financial advice sector\, providing an exceptional opportunity to debate on key topics facing our industry. \n
URL:https://www.pimfa.co.uk/event/pimfa-annual-summit-2019-october/
LOCATION:Riverside Building\, Belvedere Rd\, Lambeth\, London\, SE1 7PB\, United Kingdom
GEO:51.5031864;-0.1195192
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=Riverside Building Belvedere Rd Lambeth London SE1 7PB United Kingdom;X-APPLE-RADIUS=500;X-TITLE=Riverside Building\, Belvedere Rd\, Lambeth:geo:-0.1195192,51.5031864
CATEGORIES:Conference,PIMFA Events
ORGANIZER;CN="PIMFA":MAILTO:events@pimfa.co.uk
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191016T090000
DTEND;TZID=Europe/London:20191016T130000
DTSTAMP:20190915T104753
CREATED:20190718T083635Z
LAST-MODIFIED:20190723T133710Z
UID:83990-1571216400-1571230800@www.pimfa.co.uk
SUMMARY:'Everything You Need to Deliver SM&CR Conduct Rules Training in Your Firm': Train the Trainer Workshop and Toolkit
DESCRIPTION:Need to deliver Conduct Rules training by the 9th December\, but don’t have the time or knowledge to prepare FCA compliant training course materials? \nCreating your own SM&CR Conduct Rules training in line with the FCA expectations stipulated in COCON 2.3 FCA Handbook takes time. Firms will need to plan\, research\, design\, write\, create and deliver effective sessions\, with an emphasis on job role specific training. That’s why PIMFA has partnered with City HR to create a cost effective\, FCA compliant ‘Train the Trainer’ workshop and toolkit that takes all the hard work away from you – allowing you to focus on delivery only. \nOur unique solution comprises two distinct offerings \n\nHalf day ‘Train the Trainer’ workshop which includes an experiential learning session so that you have first hand experience of the programme and how it can be adapted for your firm. Our faculty of experienced HR professionals will explain in detail how you can use our well-designed\, easy-to-follow\, professionally written training course materials to deliver effective Conduct Rules training to an unlimited number of your staff.\nThe toolkit. We provide you with a comprehensive toolkit that includes PowerPoint slides\, training notes\, SM&CR explainer videos\, practical case studies\, delegate handouts which can be aligned to your organisation.\n\nThis training workshop and toolkit is ideal for firms that want to: \n\nfeel confident you have delivered a high standard training course in line with the FCA’s requirements\ntrain all staff on the Conduct Rules by 9th December\ntailor their firms Conduct Rules training to specific staff job roles\ntrain an unlimited number of your staff on the Conduct Rules for a single\, one off payment\nreceive fully editable training course materials that can be personalised by you for your firm\nutilise the SM&CR resources that are used in over 30 banks and Building Societies\nreproduce or copy\, at no extra cost\, the materials within the toolkit as many times as you require them.*\n\n*You or your firm may not copy the whole or any part of the material for sale or re-distribution \nWho Should Attend? \nThis half-day training workshop is primarily aimed at HR\, L&D\, T&C\, risk and compliance professionals. \nSmall group sizes & expert trainers \nSmall group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes. \nYour Trainer \nAndrea is the Chief Executive of City HR\, having joined the Board in 2007. Her background is in both business and people management. She spent 12 years in investment banking in various HR specialist and business partner roles\, before founding an HCM consulting firm which was acquired by a PLC. She is the co-Founder of the Guild of Human Resources. \n \n
URL:https://www.pimfa.co.uk/event/everything-you-need-to-deliver-smcr-conduct-rules-training-in-your-firm-train-the-trainer-workshop-and-toolkit/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=22 City Road Finsbury Square London EC1Y 2AJ United Kingdom;X-APPLE-RADIUS=500;X-TITLE=22 City Road\, Finsbury Square:geo:-0.087405,51.5224217
CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191022T090000
DTEND;TZID=Europe/London:20191022T163000
DTSTAMP:20190915T104753
CREATED:20190718T085228Z
LAST-MODIFIED:20190723T134817Z
UID:84001-1571734800-1571761800@www.pimfa.co.uk
SUMMARY:Clear\, Fair and Not Misleading: Financial Promotions\, What Your Firm Needs To Know
DESCRIPTION:The regulator’s ‘Dear CEO’ letters in January and April 2019 sent to all firms reminded them that the FCA treats this matter very seriously and that it expects firms ‘to promote retail investment products in a manner that is fair\, clear and not misleading.’ \nPromotions are one of the ways in which both the regulator and the public sees what a firm is about. Does the business understand the products and services that they provide? Can it communicate with its customers in a way that they will understand and relate to? \nAccording to consultancy firm\, Bovill\, the FCA asks well over 200 firms each year to change or withdraw promotions. On top of that the Advertising Standards Authority takes a keen interest in the sector. All in all\, can you afford not to know the rules and how to apply them? \nPromotions\, though\, are not the only situation where client communications occur and must be clear\, fair and not misleading. Suitability reports and other mailings all have to comply with these requirements. \nHow will this workshop assist you? \nThis one-day interactive workshop reminds for firms of their responsibilities relating to the use of financial promotions\, suitability reports what regulations financial advisors should be aware of\, and how they ensure they don’t fall short of the FCA expectations. \nThrough the use of recent case studies and examples you will work learn how your firm can: \n\nAvoid reputational damage from being seen to have misled customers and clients\nEnsure your adverts and suitability reports are clear\, fair and accurate\nAchieve the right balance between your sales messages and the obligation to meet regulatory requirements\nShow that you are taking the reasonable steps required under SMCR to deliver compliant financial promotions\n\nSmall group sizes & expert trainers \nSmall group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes. \nYour Trainer \nAdam Samuel is a lawyer qualified in the UK and the USA. Since 1996\, Adam has run his own training and consulting business\, helping out regulators in three continents on customer-facing issues. He has the qualifications required of a financial\, mortgage and equity release adviser and the UK CISI compliance diploma. \nMore importantly\, he has been helping members of the IFA and wealth management community generally and our organisation in particular with their financial promotions and other compliance issues since the early 2000s \nAdam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. Adam has broadcast on a number of BBC domestic and World Service programmes\, including the national news and Money Box\, on financial services compliance and banking issues. \n
URL:https://www.pimfa.co.uk/event/clear-fair-and-not-misleading-financial-promotions-what-your-firm-needs-to-know/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=22 City Road Finsbury Square London EC1Y 2AJ United Kingdom;X-APPLE-RADIUS=500;X-TITLE=22 City Road\, Finsbury Square:geo:-0.087405,51.5224217
CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191106T080000
DTEND;TZID=Europe/London:20191107T170000
DTSTAMP:20190915T104753
CREATED:20190904T134059Z
LAST-MODIFIED:20190909T091256Z
UID:87493-1573027200-1573146000@www.pimfa.co.uk
SUMMARY:Automation & Innovation in Wealth Management Forum
DESCRIPTION:The rise of emerging technologies – Cloud\, Analytics\, Social and Mobile – brings unparalleled disruption right across the wealth management value chain. The widespread adoption of AI\, Robo-advisors\, ML is empowering Wealth managers to do things they couldn’t do before: augmenting the intelligence of the human workforce and facilitating the development of next-generation capabilities. \nToday’s HNWI’s expect a new kind of Wealth Management experience. To succeed in this digital age\, Wealth Managers must offer a more informed\, personalised\, transparent service more quickly\, efficiently and effectively. Adopting emerging technological capabilities of AI\, ML\, Blockchain\, Robo-advisors and digital onboarding can enable firms to dramatically deliver new kinds of value and reshape operating models. \nAttend this Forum and gain insights that will help:\n– Examine Current Landscape of AI in Wealth and Investment Management\n– Combine Human Intelligence with AI to form perfect investment Robot\n– Create a Personalised Experience Through AI\n– Hear about advanced Robo-advice capabilities: detecting risk tolerance and investment objectives while leaving room for human control and interaction\n– Utilise deep Learning Approach to compute Optimal investment strategies\n– Deploy Data Science and ML in Portfolio Management\n– Adopt Agile Digital Onboarding for the Wealth Manager of the future\n– Hear about new API-based business opportunities and how to capitalise on Open banking \nGet 50% off tickets when you use the code: PIMFA-AWM-LDN-819 \nFor more information and to book tickets visit:\nhttps://www.connectglobalgroup.com/wealth-management-automation \nOr for more information contact:\nForum Director – Alyona Ring alyona.ring@connectglobalgroup.com\nHead of Marketing – Dhilnawaaz Trotman dhilnawaaz.trotman@connectglobalgroup.com \n
URL:https://www.pimfa.co.uk/event/automation-innovation-in-wealth-management-forum/
CATEGORIES:Industry Conference,Industry Events
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191107T110000
DTEND;TZID=Europe/London:20191107T120000
DTSTAMP:20190915T104753
CREATED:20190909T080650Z
LAST-MODIFIED:20190909T080623Z
UID:86323-1573124400-1573128000@www.pimfa.co.uk
SUMMARY:WEBINAR: SM&CR: The Hidden Challenges for HR
DESCRIPTION:The HR function will play a critical role in the successful implementation and maintenance of SM&CR. But with great power\, comes great responsibility to avoid the pitfalls and the hidden challenges that can easily catch the HR function off guard and unaware. \nIn this FREE 1 hour webinar we discuss with regulatory expert\, Julie Pardy\, and employment lawyer\, Marian Bloodworth\, how the HR function can navigate these tricky waters. \nOur discussions will focus on: \n\nReviewing and implementing the necessary changes to your HR lifecycle\nManaging breaches and suspected breaches to the conduct rules\nAvoiding the pitfalls of regulatory references\nAligning performance management and assessing fitness and propriety\n\nIf you require more information please email learning@pimfa.co.uk. \n
URL:https://www.pimfa.co.uk/event/hiddenchallengesforhr/
CATEGORIES:Learning,Webinars
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191119T090000
DTEND;TZID=Europe/London:20191119T163000
DTSTAMP:20190915T104753
CREATED:20190718T090508Z
LAST-MODIFIED:20190722T154232Z
UID:84092-1574154000-1574181000@www.pimfa.co.uk
SUMMARY:Let's Talk About Product Governance and PROD Rulebook
DESCRIPTION:With the FCA stating earlier this year that it will turn its attention on how firms are implementing new rules around product governance\, advisors would be wise to review how they are complying with PROD (Product Intervention and Product Governance Sourcebook) which came into force rather under the radar with MiFID II in January 2018. \nStarting in 2008 with RPPD and now with PROD\, the regulator has imposed an extra layer of duties on advisers and providers to ensure that the products that they make and distribute are suitable for the type of people like to buy them. Most of the major financial services scandals since 2000 have involved products not designed to help those buying them. The FCA is increasingly concerned to ensure that reasonable quality products end up in the right places. \nAt its heart PROD requires advisors and providers must demonstrate to the regulator the cost\, service and investment proposition they are recommending are appropriate for each client segment. It is important for both groups to avoid another unregulated collective investment scheme\, life settlement fund\, pension transfer or whatever problem is coming around the corner. \nHow will this workshop assist you? \nThis practical one day workshop prepares you to meet your obligations under PROD helping you make any changes to products and services that you offer\, so that by the end of this workshop you will be able to \n\nGrasp what the FCA expects you to know about Product Governance & The PROD rules\nKnow how to find PROD and its updates\nKnow how PROD interacts with the FCA Principles\, the COBS rulebook and RPPD\nBuild effective product governance arrangements\nIdentify target markets\nObtain\, apply and review stress test results\nKnow how to learn how products work\nLimit sales to target markets and tell providers of issues in that area\nExclude inappropriate products for your distribution method\n\nWho should attend? \nThis workshop is crucial for: Product governance and compliance people at both distributors and providers\, advisers and discretionary fund managers involved in distributing products. \nSmall group sizes & expert trainers \nSmall group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes. \nYour Trainer \nAdam Samuel is a compliance specialist and lawyer who has spent much of the last 20 years advising firms from major banks to small one-man firms on conduct related issues. Qualified as a lawyer on both sides of the Atlantic and proud holder of an AFPC\, MAQ and CISI compliance diploma\, Adam wrote the only major book on financial services complaint handling in 2005\, now in a 2017 second edition. \n
URL:https://www.pimfa.co.uk/event/lets-talk-about-product-governance-and-prod-rulebook/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
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CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191121T090000
DTEND;TZID=Europe/London:20191121T163000
DTSTAMP:20190915T104753
CREATED:20190718T091336Z
LAST-MODIFIED:20190722T153917Z
UID:84097-1574326800-1574353800@www.pimfa.co.uk
SUMMARY:What Does Good Training & Competence Practice Look Like in Your Firm Under SM&CR and MiFID II?
DESCRIPTION:The competence of staff has always been high on the Regulator’s agenda and the introduction of the Senior Management and Certification Regimes (SM&CR) has placed an even greater importance on the effective demonstration. \nHow would you prove that your arrangements manage and mitigate people risks as they emerge? How confident are you that your Training and Competence (T&C) practice aligns to HR policy and supports the delivery of cultural performance within the business? \nSome see T&C as a “tick-box” exercise but when it is designed to support the development of capability it can be one of the most effective tools in attracting and retaining talent. \nA well designed and executed T&C framework will help you demonstrate to the Regulator that your staff really are at the centre of your organisation and that you have effective processes in place for the measurement and management of individual competence and capability. \nHow will this workshop assist you? \nThis practical one day workshop provides professionals who are involved in the design\, implementation or overseeing of T&C with the knowledge to help develop a successful T&C Framework and approach. \nIt will also consider competence in a post MiFID II and Certification world\, considering the crossovers and challenges this brings\, through a combination of presentations and practical exercises. \nTopics covered include….. \n\nFCA’s approach to competence\, capability and conduct (3 C’s)\nT&C Policy\, process and practice (3 Ps’)\nThe importance of the supervisor within T&C\nEffective management information to demonstrate competence\nAligning T&C practice with HR strategy\n\nThis workshop will allow delegates to receive technical and regulatory input as well as participate in syndicate work\, enabling delegates to debate practice and embed learning \nBy the end of this workshop you will…. \n\nUnderstand the Regulatory and Business backdrop to T&C\nConfirm the key elements that make-up a successful T&C Framework\nDesign an effective T&C Framework for your firm\nDemonstrate people competence and capability management\nConsider how to effectively align your T&C best practice with your HR and SM&CR arrangements\n\nWho should attend? \nThis workshop is suitable for those individuals involved in the design and oversight of T&C and who may be impacted by the new Certification Regime in particular: \n\nOperations\nHuman Resources and Learning and Development\nCompliance\nOrganisation and Change Management\n\nSmall group sizes & expert trainers \nSmall group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes. \nYour Trainer \nLynne has extensive experience of Financial Services working within a variety of roles in the Retail sector before moving into the world of regulatory consulting. She specialises in the interpretation of FCA regulation and the impacts on people. This includes the design and development of training and competence frameworks\, the Senior Managers and Certification Regime (SM&CR)\, identifying and managing conduct risk and the development of culturally aligned pragmatic policies and processes. \nLynne also has a highly successful record as a leader and developer of people providing a strong awareness and understanding of what is takes to be an effective supervisor. \nA highly effective coach with a proven record in operational HR and L&D Lynne recognises the need to ensure solutions are easy to understand and effective; and is able to deliver high quality commercial outcomes \n
URL:https://www.pimfa.co.uk/event/what-does-good-training-competence-practice-look-like-in-your-firm/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
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CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191204T081500
DTEND;TZID=Europe/London:20191204T130000
DTSTAMP:20190915T104753
CREATED:20190723T083500Z
LAST-MODIFIED:20190723T083650Z
UID:84453-1575447300-1575464400@www.pimfa.co.uk
SUMMARY:CLIENTS’ VIEW 2019: PLANNING FOR THE FUTURE
DESCRIPTION:With increased complexities and rising costs of living\, planning for the future is at the forefront of many investors’ minds. These tasks\, whether it be inheritance tax planning\, retirement planning or all-round wealth planning\, are traditionally undertaken by a professional adviser or IFA. However\, an increasing number of wealth management firms are now looking to bring these services in-house\, thereby providing a one-stop shop for investors\, meeting all of their financial needs. \nBut what exactly do these investors expect and demand from a planning service\, how much are they willing to pay for it\, and at what age should these discussions be taking place? Also\, is the prospect of having all financial services provided by one firm an attractive proposition for them? \nTo answer these\, and many more questions relating to planning for the future\, Compeer will be interviewing 1\,000 high net worth and affluent investors to ascertain their views. Join us on the 4th December when we will share the key findings\, whilst being joined by a variety of guest speakers with expertise in this area. \nThere is no charge for this seminar for representatives of wealth management firms and private banks. A charge of £250 + VAT per ticket applies for service providers. \nCPD certificates will be issued shortly after the seminar \n
URL:https://www.pimfa.co.uk/event/clients-view-2019-planning-for-the-future/
CATEGORIES:Industry Events,Industry Seminar
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191209T090000
DTEND;TZID=Europe/London:20191209T163000
DTSTAMP:20190915T104753
CREATED:20190911T084543Z
LAST-MODIFIED:20190911T084543Z
UID:85010-1575882000-1575909000@www.pimfa.co.uk
SUMMARY:Supporting Customers in Vulnerable Circumstances
DESCRIPTION:\n\n\nIdentifying indicators of vulnerability is a key challenge for your customer facing staff. Do your colleagues know when they are speaking with a vulnerable customer? What are your processes for communicating with customers in vulnerable circumstances? Firms are making progress to address the expectations of the regulator in this area\, but more can be done. \nAbout this workshop \nHealth\, disability\, unemployment\, bereavement\, domestic violence and addiction can all contribute to making someone more vulnerable. Customers in vulnerable circumstances are especially susceptible to detriment. Your staff need to know how to identify and work with these customers in a way that is both consistent and fair. This can have a positive impact on your ability to recover debts\, employee morale and your reputation as a responsible organisation. Mental capacity limitations can result in customers having significant problems with understanding\, remembering\, and evaluating information about credit products they are applying for\, as well as communicating a decision about this. \nOutcomes \nTo help your staff understand the steps and actions they need to take in order to identify and work with customers in vulnerable circumstances. \nWhat is Covered \n\nWhat is meant by ‘vulnerability’?\nFactors that contribute to vulnerability\nPotential barriers for vulnerable customers making a disclosure and ways to overcome these\nThe four steps to identifying vulnerable customers\nThe five principles for supporting vulnerable customers\nRelevant legislation and regulation\nIdentify what ‘mental capacity’ and a ‘mental capacity limitation’ are\nThe four points of the IDEA technique as a tool for understanding the significance of the vulnerability presented\nRecognise the ways in which a customer with a mental capacity limitation can be identified and supported\nIdentify the key principles of working with customers with a mental capacity limitation\nIdentify the key components of the BRUCE tool\n\nWho should attend? \n\n\n\n\n\n\n\nVulnerability and Customer Service leads\nCompliance\, Quality Assurance Heads and Leads\nRisk\, Control\, Internal Audit decision makers\nHuman Resource and Learning and Development professionals\nManagers responsible or working in contact centres\nSpecialist vulnerability colleagues\n\nYour Trainer \nCaroline Wells is an award-winning Customer Insight professional with over 25 years of transformational leadership in financial services. Caroline has a deep-rooted knowledge of customer experience\, consumer vulnerability\, diversity legislation\, outreach and complaints handling. \nSince leaving a senior position at the Financial Ombudsman Service in 2017\, Caroline now advises businesses in and outside of financial services. She also works with The Money Advice Trust\, is an independent advisor to several organisations\, and is a Commissioner on Energy UK’s Commission for Customers in Vulnerable Circumstances. Caroline is also a member of several professional bodies including\, ICS and CIPR. \n\n\n\n
URL:https://www.pimfa.co.uk/event/supporting-customers-in-vulnerable-circumstances/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=22 City Road Finsbury Square London EC1Y 2AJ United Kingdom;X-APPLE-RADIUS=500;X-TITLE=22 City Road\, Finsbury Square:geo:-0.087405,51.5224217
CATEGORIES:Learning,Training Courses
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20191213T090000
DTEND;TZID=Europe/London:20191213T163000
DTSTAMP:20190915T104753
CREATED:20190718T092837Z
LAST-MODIFIED:20190722T133258Z
UID:84101-1576227600-1576254600@www.pimfa.co.uk
SUMMARY:What Does Regulated “Good Conduct” Look Like Under SM&CR?
DESCRIPTION:‘Conduct Risk’ is now a Board priority. As SM&CR extends to include your firm\, regulators are taking high-profile enforcement action against misconduct in many more types of firms. Financial service providers must carefully consider how customers are treated\, how best to manage conflicts of interest and how to overcome old assumptions that compromise good decision-making. Businesses new to the Conduct regime at first see it as a compliance burden – but the more enlightened come to regard it as a great opportunity to build commercial value\, while improving customer service. \nRegulators in the UK and worldwide now press firms to show how their leaders are behaving responsibly and taking the initiative to develop good risk culture. \nIn a single-day\, interactive workshop\, we lead member firms through the new regulatory approach. Practical and hands-on content covers essentials of Conduct Risk and actions your firm needs to take to be ready to report on it. The round-table\, small group Chatham House format also provides a great ‘safe space’ opportunity to share\, discuss and learn from experiences with other delegates. \nThis workshop will help you… \n\nMake sense of the key terms ‘Conduct regulation’\, ‘Conduct Risk’ and ‘Culture Audit’ and how these apply in practice to your firm\nDiscover how the regulator uses behavioural research in Conduct audits and enforcements\nRecognise what ‘good behaviour’ best practice consists of today\, and will be in future\nKnow what questions the regulator will ask you – and any of your staff – on future visits from December 2019\nPreview expected prosecution hot spots in the coming year\nStart the process of compiling a Conduct Risk framework\nConsider which elements of your compliance budget are most worthwhile\nTry using new tools that improve control and oversight of Conduct Risk in your firm\nPlan to keep ahead of the regulator’s agenda – with a 5-year forward view\n\nDelivery method \nThis workshop combines live trainer input\, participant sharing of knowledge and experiences of regulatory encounters\, with practical teamwork based on real case examples. The session is limited to 16 attendees to ensure high levels of interaction and retained knowledge. \nBy the end of this workshop you will be able to…. \nThis concise one-day workshop aims to equip leaders responsible for ensuring their firm satisfies the regulator’s questions\, including roles tasked with creating and embedding the firm’s Conduct Risk framework – likely to include attested Senior Manager roles\, as well as Compliance\, Risk\, Conduct and Culture team leaders. \nWho Should Attend? \n\nSenior Managers\nHeads of HR\, Risk\, Compliance\nCompliance Officers\n\nSmall group sizes & expert trainers \nSmall group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes. \nYour Trainer \nDr. Roger Miles researches behavioural economics\, regulated reporting on Conduct and Culture\, and patterns of rule-breaking. He counsels Boards on best communication of risk\, uncertainty\, and desirable behaviours\, on conduct matters generally\, and on finding new MI to overcome the limitations of conventional risk assessment. He has led initiatives for “risk-aware working”\, corporate value protection and business development for global organisations including financial and professional service firms\, tech and information providers\, energy\, telecoms\, and utility companies. He regularly delivers bespoke workshops for leadership groups in private\, public\, NGO and professional advisory sectors. Dr. Miles teaches psychology of risk at two graduate schools and publishes both specialist research and popular commentaries. His latest popular handbook for managers is Conduct Risk Management: A behavioural approach (Kogan Page). \n
URL:https://www.pimfa.co.uk/event/what-does-regulated-good-conduct-look-like/
LOCATION:22 City Road\, Finsbury Square\, London\, EC1Y 2AJ\, United Kingdom
GEO:51.5224217;-0.087405
X-APPLE-STRUCTURED-LOCATION;VALUE=URI;X-ADDRESS=22 City Road Finsbury Square London EC1Y 2AJ United Kingdom;X-APPLE-RADIUS=500;X-TITLE=22 City Road\, Finsbury Square:geo:-0.087405,51.5224217
CATEGORIES:Learning,Training Courses
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END:VCALENDAR